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    Senior Advisor Transition Specialist - Dallas, United States - Hilltop Securities Inc.

    Hilltop Securities Inc.
    Hilltop Securities Inc. Dallas, United States

    1 week ago

    Default job background
    Banking / Loans
    Description

    HilltopSecurities is currently seeking a Sr. Advisor Transitions Specialist. This role is responsible for new advisor onboarding, training and overall coordination of transition planning and follow-up to ensure successful financial professional transitions within the Momentum Independent Network (MIN) and Private Client Group (PCG). The position will process a variety of complex transactions and handle escalated issues referred by Specialist.

    Responsibilities:

    • Create and update transition checklists for each transition and verify that all tasks on the checklist are completed timely and accurately.
    • Create a transition playbook for new advisors detailing the pre-transition steps they need to take and the timeframe that each task should be completed.
    • Lead onboarding team through the onboarding weekend and managing the post-transition follow up (typically 60 – 90 days)
    • Utilize DocuSign to enhance the electronic signature process for transitions.
    • Responsible for remediation with the office for post-transition NIGO paperwork to ensure a successful transition of financial professionals.
    • Coordinate, track and monitor new advisor training for all HTS systems.
    • Create Monthly Management Reports for Transitions in progress and upcoming transitions (track assets received, accounts opened, ACAT status, etc)
    • Work closely with Advisory Services Group (ASG) and Insurance team to coordinate due diligence calls and general transition planning and provide detailed instructions on Transition processes and policies.
    • Regularly provide transition status updates to management
    • Review process workflows and identify gaps and procedural changes to enhance efficiencies.
    • Provide additional Support for Wealth Management Department projects as needed.

    Qualifications:

    • High school diploma or equivalent. Degree preferred.
    • 3 or more years related experience in the financial services. Preferred experience in Operations, Account Servicing or Advisor transition
    • Licensure: SIE and Series 99 or Series 7 required
    • Demonstrated understanding of transition procedures, including Broker Protocol and non-Protocol, and disseminate that information in a clear and precise manner to potential advisors as well as the internal transition team a plus
    • Ability to work overtime and weekend work will be required as needed, often on short notice
    • Some travel may be required
    • Ability to work in a fast-paced environment while maintaining accurate, complete, and high-quality work in a timely manner
    • Strong relationship building and communication skills, both oral and written
    • Ability to effectively handle difficult customer service situations
    • Ability to prepare and maintain confidential records and reports
    • Ability to work successfully with other departments and individuals at all levels
    • Self-motivated team player and individual contributor
    • Strong PC skills including knowledge of MS Office Products, specifically Word and Excel
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